Decision No. 11/2005/QD-BKHCN on the issuance of the "Provisional Regulations on the Construction and Management of Science and Technology Projects"

DECISION OF THE MINISTER OF SCIENCE AND TECHNOLOGY

Regarding the issuance of the "Provisional Regulations on the Construction and Management of Scientific and Technological Projects"

and manage scientific and technological projects

THE MINISTER OF SCIENCE AND TECHNOLOGY

 

Pursuant to Decree No. 54/2003/NĐ-CP dated May 19, 2003 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology, and Decree No. 28/2004/NĐ-CP dated January 16, 2004 of the Government amending and supplementing certain articles of Decree No. 54/2003/NĐ-CP;

Pursuant to Decree No. 81/2002/NĐ-CP dated October 17, 2002 of the Government detailing the implementation of certain provisions of the Law on Science and Technology;

At the proposal of the Heads of the Department of Science and Technology for Economic and Engineering Industries, the Head of the Department of Planning and Finance, and the Head of the Department of Social Sciences and Natural Sciences,

DECISION:

Article 1. The "Provisional Regulations on the Construction and Management of Scientific and Technological Projects" are hereby promulgated together with this Decision.

Article 2. The Standard Measurement Quality Control Department shall be responsible for organizing and guiding the implementation of the Regulations adopted herein.

Article 3. The Heads of the Department of Science and Technology for Economic and Engineering Industries, the Head of the Department of Planning and Finance, the Head of the Department of Social Sciences and Natural Sciences, the Director of the Ministry's Office, the Heads of the units directly under the Ministry, and the Heads of related agencies shall be responsible for implementing this Decision.

 

TEMPORARY PROVISIONS

ON THE CONSTRUCTION AND MANAGEMENT OF SCIENTIFIC AND TECHNOLOGICAL PROJECTS

(Issued together with Decision No. 11/2005/QĐ-BKHCN dated August 25, 2005)

of the Minister of Science and Technology)

PART I

GENERAL PROVISIONS

Article 1. Scope and Applicability

These regulations apply to the construction and management of scientific and technological projects (hereinafter referred to as S&T projects) that are supported by state science funds aimed at addressing scientific and technological issues to serve the production of key and main products approved by the Prime Minister and other key and main products determined by the Minister of Science and Technology.

An S&T project is a scientific and technological task comprising several research topics and experimental production projects (hereinafter referred to as tasks within the S&T project), organically and synchronously carried out within a specific period, aimed at resolving major scientific and technological issues to serve the production of a key or main product or group of such products, thereby enhancing the technological level of an industry or sector and significantly impacting national economic and social development.

Article 2. Application of Legal Provisions

In cases where issues related to the construction and management of S&T projects are not covered by these provisional regulations, the provisions on the construction and management of national-level scientific and technological tasks shall be applied.

Article 3. Sources of Formation of S&T Projects

S&T projects are formed from the following sources:

1. Proposals from Ministries and sectors to address urgent scientific and technological issues to serve the development plans for key and main products of Ministries and sectors;

2. Proposals from provinces and cities to address urgent scientific and technological issues to contribute to the creation of key and main products serving local economic and social development.

Article 4. Criteria for Determining S&T Projects

S&T projects must meet the following conditions:

1. Originating from investment plans for the production of key and main products already approved by Ministries, sectors, provinces, and cities (hereinafter referred to as the managing agency);

2. Having economic efficiency and long-term impact on the development of science and technology in the industry or sector (creating advanced technological processes, new products; increasing design, manufacturing, and production autonomy, localization rate; enhancing the scientific and technological level of the industry or sector...);

3. Feasibility:

a) Consistent with domestic scientific and technological capabilities;

b) The results of S&T projects must be applied in production;

c) The progress of tasks within S&T projects must align with the implementation plan of the organization leading the S&T project (the duration should not exceed five years).

Article 5. Criteria for determining the leading organization to implement the Scientific and Technological Project

The leading organization of the Scientific and Technological Project is a business entity with functions suitable for managing and operating or producing key products and must meet the following conditions:

1. Assigned tasks and approved project investment plans for production of the products mentioned in Article 4 of this Regulation by the supervising authority;

2. Having legal personality, sufficient capacity (material infrastructure, finance, human resources, ability to apply results to production...), and sufficient capability to collaborate with other organizations to successfully implement the Scientific and Technological Project;

3. Responsible for applying the results of the Scientific and Technological Project to production.

Article 6. Criteria for determining the leading organization of tasks within the Scientific and Technological Project

The leading organization of tasks within the Scientific and Technological Project must meet the following conditions:

1. Organizations with legal personality (Research Institutes, Universities, Enterprises...) having functions suitable for the field of science and technology of the Scientific and Technological Project and submitting applications to undertake such tasks ofwithin the Scientific and Technological Project (Annex I: Form B1-Registration-Project) 2. Accepted by the leading organization of the Scientific and Technological Project and subject to its management and supervision during the implementation of tasks within the Scientific and Technological Project;

PROCEDURE FOR BUILDING SCIENTIFIC AND TECHNOLOGICAL PROJECTS

PART II

Article 7. Determining the List of Scientific and Technological Projects

1. Annually, the Ministry of Science and Technology (hereinafter referred to as the Ministry of Science and Technology) announces and receives proposals for Scientific and Technological Projects from competent authorities in accordance with the progress of building the science and technology plan using the Scientific and Technological Project proposal form (Annex II: Form B2-Proposal-Project).

2. Based on the criteria for determining Scientific and Technological Projects stipulated in Article 4 of this Regulation, based on the proposals of competent authorities, the Ministry of Science and Technology compiles a preliminary list of Scientific and Technological Projects expected to be implemented in the planning year (Annex III: Form B3-Implementation-Project).

3. The Ministry of Science and Technology establishes a State-level scientific and technological advisory council to advise on determining the list of Scientific and Technological Projects expected to be implemented, clarifying the objectives, contents, and timelines of the Scientific and Technological Projects and the expected leading organizations for tasks within the Scientific and Technological Projects (based on the proposals of the leading organization of the Scientific and Technological Project);

In cases where a task within the Scientific and Technological Project has multiple organizations capable of leading it, the Council recommends selecting the leading organization, and the Ministry of Science and Technology will consider and decide.

4. Based on the results of the work of the scientific and technological advisory council, the Ministry of Science and Technology issues a document requesting comments from the competent authority on the list of tasks within the Scientific and Technological Project.

5. The Ministry of Science and Technology approves the list of tasks within the Scientific and Technological Project after receiving the agreement document from the competent authority, specifying the objectives of the Scientific and Technological Project, the list of tasks within the Scientific and Technological Project

and the expected products of the Scientific and Technological Project. 6. Based on the Decision approving the list of Scientific and Technological Projects, the leading organization of the Scientific and Technological Project and the organizations expected to lead tasks within the

Scientific and Technological Project proceed to develop a general description of the Scientific and Technological Project and descriptions of tasks within the Scientific and Technological Project according to the prescribed forms (Annex IV: Form B4-Detail for research projects, Annex V: Form B5-Detail for trial production projects, and Annex VI: Form B6-General Description of the Scientific and Technological Project) to be submitted to the Ministry of Science and Technology and the competent authority. shall prepare general descriptions of the scientific and technological project and detailed descriptions of tasks within the project according to the prescribed forms (Annex IV: Form B4-TMĐT for research topics, Annex V: Form B5-TMDA for pilot production projects, and Annex VI: Form B6-TMTQ for general descriptions of scientific and technological projects) to be submitted to the Ministry of Science and Technology and the managing authority.

Article 8. Reviewing the contents of tasks under the Science and Technology Project and organizing the main tasks under the Science and Technology Project

1. The managing authority establishes a Science and Technology Advisory Board to review and examine the content of the project outline of the tasks under the Science and Technology Project. tasks within the scientific and technological project.

In cases where necessary, the Board will conduct on-site inspections of the capacity and related issues of the main organizations and collaborating organizations implementing the tasks under the Science and Technology Project.

If the task under the Science and Technology Project has a decision on selection, the managing authority shall carry out the selection according to regulations.

2. The Ministry of Science and Technology takes the lead in coordinating with the managing authority to organize the review of the tasks under the Science and Technology Project regarding content, budget, implementation schedule, including the content and budget for support from the science and technology development fund. contents, budget, implementation schedule, including the content and budget for support from the science and technology development fund.

The organization responsible for the task under the Science and Technology Project shall perfect the task description based on the results of the content, budget, and schedule review and submit it to the managing authority of the Science and Technology Project for examination and approval.

3. The organization responsible for the Science and Technology Project shall perfect the general description of the Science and Technology Project based on the results of the content, budget, and schedule review of the tasks under the Science and Technology Project and submit it to the managing authority and the Ministry of Science and Technology for examination and approval.

Article 9. Approval of the Science and Technology Project and the organizations responsible for implementing the Science and Technology Project and its tasks.

The Ministry of Science and Technology approves the Science and Technology Project based on the reviewed, perfected General Description of the Science and Technology Project and the endorsement document of the managing authority.

The approval decision of the Minister of the Ministry of Science and Technology serves as the legal basis for signing the science and technology contract to implement the Science and Technology Project.

CHAPTER III

MANAGEMENT OF THE SCIENCE AND TECHNOLOGY PROJECT

Article 10. Responsibilities of the organization responsible for the Science and Technology Project

1. Proposing the tasks under the Science and Technology Project and the organizations and individuals responsible for implementing the tasks within the scientific and technological project.

2. Building the general description of the Science and Technology Project

3. Participating in coordination with the Ministry of Science and Technology and the managing authority in reviewing the content, budget, and schedule of the proceed to develop a general description of the Scientific and Technological Project and descriptions of tasks within the Scientific and Technological Project according to the prescribed forms (Annex IV: Form B4-Detail for research projects, Annex V: Form B5-Detail for trial production projects, and Annex VI: Form B6-General Description of the Scientific and Technological Project) to be submitted to the Ministry of Science and Technology and the competent authority..

4. Signing the science and technology contract (as party B) with the managing authority implementing the Science and Technology Project.

5. Signing the science and technology contract (as party A) with the organizations and individuals responsible for the tasks within the scientific and technological project.

6. Supporting the organizations responsible for the proceed to develop a general description of the Scientific and Technological Project and descriptions of tasks within the Scientific and Technological Project according to the prescribed forms (Annex IV: Form B4-Detail for research projects, Annex V: Form B5-Detail for trial production projects, and Annex VI: Form B6-General Description of the Scientific and Technological Project) to be submitted to the Ministry of Science and Technology and the competent authority. implementation of scientific and technological content according to the contract.

7. Organizing the management, guidance, inspection of the implementation of tasks under the Science and Technology Project, urging the organizations and individuals responsible for the tasks under the Science and Technology Project reporting and compiling reports on the implementation results of the Science and Technology Project to the managing authority, the Ministry of Science and Technology, and the Ministry of Finance.

8. Summarizing and reporting to the managing authority on the annual allocation, use, and settlement of the budget of the Project and the final settlement of the Science and Technology Project upon completion.

9. Identifying and proposing solutions to issues arising during the implementation of tasks under the Science and Technology Project and reporting to the managing authority and the Ministry of Science and Technology.

10. Implementing the application of the results of tasks under the Science and Technology Project in production in accordance with the production schedule of enterprises.

11. Organizing the acceptance and evaluation of tasks under the Science and Technology Project in accordance with the Decision establishing the Science and Technology Advisory Board of the managing authority.

12. Being accountable to the managing authority, the Ministry of Science and Technology for the results of the implementation of the Science and Technology Project.

Article 11. Responsibilities of the Organization in Charge of the Science and Technology Project Task

1. Enter into science and technology contracts with the organization in charge of the Science and Technology Project.

2. Ensure material conditions (equipment, workshops, means of transportation, etc.), human resources, and financial resources to organize the implementation of tasks under the Science and Technology Project according to commitments in the science and technology contract.

3. Be subject to management and supervision regarding progress and content by the organization in charge of the Project and the Project Leader.

4. Fully implement periodic and ad hoc reporting on the implementation status of tasks and final accounting reports on task expenses under the Science and Technology Project to the organization in charge of the Science and Technology Project.

5. Organize basic-level evaluation and acceptance of tasks under the Science and Technology Project.

Article 12. Responsibilities of the Managing Authority

1. Manage the process of building, implementing, and results of the Science and Technology Project.

2. Establish a Science and Technology Advisory Board to review and approve the content of project outlines for tasks under the Science and Technology Project and select organizations in charge of tasks under the Science and Technology Project (in cases where there is a selection decision).

3. Coordinate with the Ministry of Science and Technology to appraise the budget, content, and progress of tasks under the Science and Technology Project.

4. Approve the outlines of tasks under the Science and Technology Project.

5. Agree on the approval of the general outline of the Science and Technology Project.

6. Enter into science and technology contracts to implement the Science and Technology Project with the organization in charge of the Science and Technology Project based on the Decision approving the Science and Technology Project by the Ministry of Science and Technology.

7. Allocate and settle funds according to the annual plan that has been approved.

8. Lead inspections, supervision, and urging the organization in charge of the Science and Technology Project and organizations in charge of tasks under the Science and Technology Project to fulfill all commitments in the contract.

9. Adjust objectives, content, and progress of tasks under the Science and Technology Project based on proposals from the organization in charge of the Science and Technology Project and with written consent from the Ministry of Science and Technology.

10. Establish Science and Technology Evaluation Boards to assess and accept tasks under the Science and Technology Project based on proposals from the organization in charge of the Science and Technology Project.

11. Organize the assessment and acceptance of the results of the Science and Technology Project according to the contract signed with the organization in charge of the Science and Technology Project.

12. Coordinate with the Ministry of Science and Technology in summarizing and evaluating the Science and Technology Project.

Article 13. Responsibilities of the Ministry of Science and Technology

1. Establish a State-level Science and Technology Advisory Board to advise on determining the list of Science and Technology Projects and the list of tasks under Science and Technology Projects.

2. Lead and coordinate with the managing authority to organize the appraisal of tasks under the Science and Technology Project concerning content, budget, and implementation progress.

3. Decide to approve the Science and Technology Project.

4. Coordinate with the managing authority to inspect and supervise the organization in charge of implementing the Science and Technology Project and organizations in charge of implementing tasks under the Science and Technology Project according to periodic schedules regarding the results of implementing the content of the approved general outline of the Science and Technology Project.

5. Coordinate with the managing authority to consider adjusting the objectives, content, and progress of the Science and Technology Project based on proposals from the organization in charge of the Science and Technology Project.

6. Conduct inspection and supervision activities according to state management functions over the Science and Technology Project.

7. Organize the summary and evaluation of the results of the Science and Technology Project.

PART IV

IMPLEMENTATION OF THE SCIENCE AND TECHNOLOGY PROJECT

Article 14. Signing contracts to implement

1. The managing agency signs a science and technology contract with the leading organization of the Science and Technology Project to implement the Science and Technology Project.

2. The leading organization of the Science and Technology Project signs a science and technology contract with the leading organizations of the tasks within the Science and Technology Project to implement those tasks.

Article 15. Financial management of the Science and Technology Project

1. The funding for implementing the Science and Technology Project includes the funding for implementing the tasks within the Science and Technology Project and the common operational funding of the Science and Technology Project, which is guaranteed from the following sources:

a) State budget funds for scientific activities that are balanced in the annual state budget estimate;

b) Funding contributions from the leading organization of the Science and Technology Project and the leading organizations of the tasks within the Science and Technology Project;

c) Funding raised from other sources.

2. Contents of state budget expenditure for Science and Technology Projects

a) Expenditure on implementing the tasks within the Science and Technology Project: shall be applied according to the current contents and expenditure regulations stipulated by the competent authority for scientific and technological tasks.

b) Common operational expenditure of the Science and Technology Project:

- Conference, seminar, interim review, final evaluation expenditure of the Science and Technology Project;

- Review, inspection, assessment, acceptance expenditure of the tasks within the Science and Technology Project;

- Responsibility allowance expenditure of the head of the Science and Technology Project;

- Other expenditures directly related to the common operations of the Science and Technology Project.

3. Preparation of the budget estimate for the Science and Technology Project: annually, based on the overall plan of the Science and Technology Project, the content and progress of the tasks within the Science and Technology Project approved by the competent authority, the managing agency prepares the state budget expenditure estimate for the Science and Technology Project within the total annual state budget revenue and expenditure estimate for science and technology of the managing agency, and submits it to the Ministry of Science and Technology and the Ministry of Finance for inclusion in the central government's state budget expenditure estimate according to the provisions of the State Budget Law.

4. Allocation, distribution of the budget estimate and disbursement of funds:

a) The budget estimate for the Science and Technology Project is allocated in the budget of the managing agency of the leading organization of the Science and Technology Project. For Science and Technology Projects led and implemented by enterprises under provinces and cities: the budget estimate is allocated to the locality in the form of targeted support.

b) The distribution of the budget estimate for the Science and Technology Project is carried out as follows:

- The managing agency allocates and assigns the state budget expenditure estimate of the Project through a subordinate budget unit (usually through the Office of the managing agency); this unit transfers funds to the enterprise leading the Science and Technology Project through a science and technology contract signed between the managing agency and the subordinate budget unit with the enterprise leading and heading the Science and Technology Project;

- The enterprise leading the Science and Technology Project transfers funds to the organizations leading the implementation of the tasks within the Science and Technology Project in the form of a science and technology contract signed between the enterprise leading the Science and Technology Project and the organizations and individuals leading the tasks within the Science and Technology Project.

c) The disbursement of funds to the enterprise leading the Science and Technology Project for expenditure according to the progress and content of the common operations of the Science and Technology Project already approved; disbursement to the organizations leading the tasks within the Science and Technology Project for expenditure according to the progress and content of the work based on the signed contract with the enterprise leading the Science and Technology Project is carried out in accordance with the provisions of the State Budget Law.

5. Settlement of the budget for the Science and Technology Project

a) For Science and Technology Projects led and implemented by enterprises under ministries and sectors: the organizations leading the tasks within the Science and Technology Project settle the budget with the enterprise leading the Science and Technology Project; the enterprise leading the Science and Technology Project is responsible for settling the budget for implementing the tasks within the Science and Technology Project and the common operational budget of the Science and Technology Project with the subordinate unit of the managing agency assigned the budget expenditure estimate for the Science and Technology Project; this unit settles the budget with the managing agency; the managing agency settles with the Ministry of Finance and simultaneously sends the financial settlement report to the Ministry of Science and Technology.

b) For Science and Technology Projects led and implemented by enterprises under localities: the organizations leading the tasks within the Science and Technology Project settle the budget with the enterprise leading the Science and Technology Project; the enterprise leading the Science and Technology Project is responsible for settling the budget for implementing the tasks within the Science and Technology Project and the common operational budget of the Science and Technology Project with the competent authority according to the provisions of the State Budget Law and simultaneously sends the financial settlement report to the Ministry of Science and Technology.

6. Disposal of assets of the Science and Technology Project after completion

Within thirty days after the Science and Technology Project is evaluated by the competent authority, the agency using the assets purchased with scientific activity funds must report to the competent state authority to decide on the asset disposal plan, specifically:

a) For Science and Technology Projects led and implemented by enterprises under ministries and sectors: the managing agency takes the lead, in coordination with the Ministry of Science and Technology, proposes the disposal plan to the Ministry of Finance for consideration and decision;

b) For Science and Technology Projects led and implemented by enterprises under localities: the Department of Finance takes the lead, in coordination with the Department of Science and Technology, proposes the disposal plan to the People's Committee of the province or city for consideration and decision.

Article 16. Amendment, Suspension, or Cancellation of Contracts

1. During the implementation process, the supervising agency and the parties to the contract may propose:

a) Adjusting the content and progress of tasks under the Science and Technology Project to suit actual production conditions.

b) Suspending or cancelling the contract in the following cases:

- The tasks under the Science and Technology Project are no longer suitable for the project's objectives or due to unforeseeable risks such as natural disasters, enemy attacks, epidemics; - The principal investigators and organizations primarily responsible for the tasks under the Science and Technology Project do not ensure sufficient material resources, human resources, corresponding funding, and other conditions as committed in the contract to carry out the tasks under the Science and Technology Project;

- Organizations primarily responsible for the tasks under the Science and Technology Project lack the capacity to manage the implementation of the contract contents; - Funds have been misused. proceed to develop a general description of the Scientific and Technological Project and descriptions of tasks within the Scientific and Technological Project according to the prescribed forms (Annex IV: Form B4-Detail for research projects, Annex V: Form B5-Detail for trial production projects, and Annex VI: Form B6-General Description of the Scientific and Technological Project) to be submitted to the Ministry of Science and Technology and the competent authority. 2. Organizations with suspended or cancelled contracts for tasks under the Science and Technology Project must cease all activities related to these tasks and report in writing on the work carried out, funds used, and equipment purchased to the organization primarily responsible for the Science and Technology Project. Based on the proposal from the organization primarily responsible for the Science and Technology Project, the supervising agency will coordinate with the Ministry of Science and Technology to consider and resolve the matter. Article 17. Final Inspection, Acceptance, and Termination of Contracts

- Organizations primarily responsible for the tasks under the Science and Technology Project lack the capacity to manage the implementation of the contract contents; proceed to develop a general description of the Scientific and Technological Project and descriptions of tasks within the Scientific and Technological Project according to the prescribed forms (Annex IV: Form B4-Detail for research projects, Annex V: Form B5-Detail for trial production projects, and Annex VI: Form B6-General Description of the Scientific and Technological Project) to be submitted to the Ministry of Science and Technology and the competent authority. 1. The final financial report on the implementation of tasks under the Science and Technology Project must be completed before the final inspection is conducted. 2. The organization primarily responsible for the Science and Technology Project shall organize the final inspection of tasks under the Science and Technology Project after the scientific and technological council has been established by the supervising agency. proceed to develop a general description of the Scientific and Technological Project and descriptions of tasks within the Scientific and Technological Project according to the prescribed forms (Annex IV: Form B4-Detail for research projects, Annex V: Form B5-Detail for trial production projects, and Annex VI: Form B6-General Description of the Scientific and Technological Project) to be submitted to the Ministry of Science and Technology and the competent authority. 3. The organization primarily responsible for the tasks under the Science and Technology Project shall submit the research results report to the National Scientific and Technological Information Center.

4. The supervising agency shall organize the final inspection of the Science and Technology Project outcomes. proceed to develop a general description of the Scientific and Technological Project and descriptions of tasks within the Scientific and Technological Project according to the prescribed forms (Annex IV: Form B4-Detail for research projects, Annex V: Form B5-Detail for trial production projects, and Annex VI: Form B6-General Description of the Scientific and Technological Project) to be submitted to the Ministry of Science and Technology and the competent authority. 5. The Ministry of Science and Technology shall coordinate with the supervising agency to organize the overall evaluation of the Science and Technology Project.

6. Contract termination: a) The organization primarily responsible for the Science and Technology Project shall terminate the contract for tasks under the Science and Technology Project after receiving the final inspection results.

b) The supervising agency shall terminate the contract with the organization primarily responsible for the Science and Technology Project after receiving the final inspection results of the Science and Technology Project.

Ministries, sectors, provinces, and cities shall base their guidelines for proposing appropriate Science and Technology Projects according to economic and social development plans to maximize the effectiveness of science and technology in production and daily life./. must be completed before the evaluation and acceptance take place.

2. The leading organization of the scientific and technological project shall organize the evaluation and acceptance of tasks within the scientific and technological project after receiving the decision to establish the Scientific and Technological Evaluation Council from the managing authority.

3. The leading organization of the task within the scientific and technological project shall submit the research results report to the National Science and Technology Information Center.

4. The managing authority shall organize the evaluation and acceptance of the results of the scientific and technological project.

5. The Ministry of Science and Technology shall cooperate with the managing authority to organize the final assessment of the scientific and technological project.

6. Contract settlement:

a) The leading organization of the scientific and technological project shall settle contracts for tasks within the scientific and technological project after receiving the evaluation and acceptance results.

b) The managing authority shall settle the contract with the leading organization of the scientific and technological project after receiving the evaluation and acceptance results of the scientific and technological project.

CHAPTER V

IMPLEMENTING PROVISIONS

Article 18. Effective Date

Ministries, sectors, provinces, and cities shall base this Regulation to guide the proposal of appropriate scientific and technological projects in line with economic and social development plans aimed at enhancing the effectiveness of science and technology in production and daily life./.